0001209191-19-007925.txt : 20190206
0001209191-19-007925.hdr.sgml : 20190206
20190206205708
ACCESSION NUMBER: 0001209191-19-007925
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190206
FILED AS OF DATE: 20190206
DATE AS OF CHANGE: 20190206
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCGUIRE TERRANCE
CENTRAL INDEX KEY: 0001117003
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38792
FILM NUMBER: 19573229
MAIL ADDRESS:
STREET 1: C/O POLARIS VENTURE PARTNERS LP
STREET 2: 1000 WINTER STREET, SUITE 3350
CITY: WALTHAM
STATE: MA
ZIP: 02154
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Alector, Inc.
CENTRAL INDEX KEY: 0001653087
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 462702363
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 151 OYSTER POINT BLVD., SUITE 300
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 415-231-5660
MAIL ADDRESS:
STREET 1: 151 OYSTER POINT BLVD., SUITE 300
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: Alector LLC
DATE OF NAME CHANGE: 20150915
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2019-02-06
0
0001653087
Alector, Inc.
ALEC
0001117003
MCGUIRE TERRANCE
C/O POLARIS VENTURE PARTNERS LP
ONE MARINA PARK DRIVE, 10TH FLOOR
BOSTON
MA
02210
1
0
0
0
Series A-1 Preferred Stock
Common Stock
500000
I
See footnote
Series A-2 Preferred Stock
Common Stock
5274725
I
See footnote
Series B Preferred Stock
Common Stock
2500000
I
See footnote
Series C Preferred Stock
Common Stock
2808989
I
See footnote
Series D Preferred Stock
Common Stock
1246883
I
See footnote
Series E Preferred Stock
Common Stock
527597
I
See footnote
All of the reported securities are held directly by the Polaris Funds (as defined below). Each of the Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock is convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
27,606 shares are held by Polaris Venture Partners Founders' Fund VI, L.P ("PVPFF VI"), 379,174 shares are held by Polaris Venture Partners VI (AIV), L.P. ("PVP VI AIV") and 93,220 shares are held by PVP VI (AIV) Feeder Corp. Holding Partnership, L.P. ("PVP VI Feeder" and, together with PVP VI AIV, PVPFF VI, and Polaris Venture Partners VI, L.P. ("PVP VI"), the "Polaris Funds"). The general partner of each of the Polaris Funds is Polaris Venture Management Co. VI, L.L.C. ("PVM"). PVM may be deemed to have sole power to vote and dispose of the shares held by the Polaris Funds. Amir Nashat, Brian Chee, David Barrett, Bryce Youngren, Jon Flint, and the reporting person are managing members of PVM. The reporting person disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of his pecuniary interest therein, if any.
291,223 shares are held by PVPFF VI, 4,000,075 shares are held by PVP VI AIV and 983,427 shares are held by PVP VI Feeder. The reporting person disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of his pecuniary interest therein, if any.
138,030 shares are held by PVPFF VI, 1,895,867 shares are held by PVP VI AIV and 466,103 shares are held by PVP VI Feeder. The reporting person disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of his pecuniary interest therein, if any.
155,087 shares are held by PVPFF VI, 2,130,190 shares are held by PVP VI AIV and 523,712 shares are held by PVP VI Feeder. The reporting person disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of his pecuniary interest therein, if any.
68,842 shares are held by PVPFF VI, 945,571 shares are held by PVP VI AIV and 232,470 shares are held by PVP VI Feeder. The reporting person disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of his pecuniary interest therein, if any.
29,129 shares are held by PVPFF VI and 498,468 shares are held by PVP VI. The reporting person disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of his pecuniary interest therein, if any.
/s/ Terrance McGuire
2019-02-06